Warranty of Merchantability that Promises the goods will be fit for the _____purposes for which they are used.?
Answer
Correct Answer:
Ordinary
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judgment with regard to whether the product is fit for that purpose is a ______?
Answer
Correct Answer:
Warranty of Fitness for a Particular Purpose
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Unreasonable Restraint is Including conduct that restrains competition.?.
Answer
Correct Answer:
True
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_______is a set of uniform rules to govern commercial transactions?
Answer
Correct Answer:
Uniform Commercial Code (UCC)
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Which ACT Requires lenders disclose all of the loan information clearly, including the amount financed, the total of payments, the finance charge, and the APR?
Answer
Correct Answer:
Truth in Lending Act (TLA)
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Tipper is the ?
Answer
Correct Answer:
Insider
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Those who receive nonpublic information from insiders and then trade is known as ?
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Correct Answer:
Tippees
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Securities Exchange Act of ____(Exchange Act) Regulated the secondary market for securities.
Answer
Correct Answer:
1934
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Includes equities and debt instruments and other types of tradable financial assets is known as ?
Answer
Correct Answer:
Securities
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________of The Federal Trade Commission (FTC) Act an advertisement is deceptive if it contains an important misrepresentation or omission that is likely to mislead a reasonable consumer?
Answer
Correct Answer:
Section 5(A)
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_______allows anyone who bought or sold securities in reliance on a false or misleading filing to sue for money damages?
Answer
Correct Answer:
Section 18(A)
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Secondary market is the purchase and sale of issued securities between buyers ?
Answer
Correct Answer:
False
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Conduct is illegal only if the conduct has an anticompetitive effect is known as ?
Answer
Correct Answer:
Rule of Reason
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Which rule sets limitations on the type of investor that can buy the security but no limit on the dollar amount of the offering?
Answer
Correct Answer:
Rule 506
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Rule 504 is transactions where no more than______ is being raised, there is no advertising, and only restricted securities are sold are exempt from registration requirements?
Answer
Correct Answer:
$5 million
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Prohibits fraud in the purchase or sale of securities; the SEC can pursue civil and criminal claims against violators is known as ?
Answer
Correct Answer:
Rule 10b-5
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________Securities that cannot be resold on a public market?
Answer
Correct Answer:
Restricted
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Regulation D exempts small transactions from the registration requirements of the ______ Securities Act.?
Answer
Correct Answer:
1933
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Regulation CF entrepreneurs and other small businesses can raise up to______ million from any investors using an online platform by selling restricted securities, and maximum investments vary depending on income.
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Correct Answer:
1$
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Public Market is ?
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Correct Answer:
Markets open to the general investing community
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The limited groups of investors that issuers sell securities to (e.g., venture capitalists or institutional investors) is known as private placement ?
Answer
Correct Answer:
True
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Primary Market is original and ______of securities by a business to raise capital.
Answer
Correct Answer:
Reissuance
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A seller steeply increases the price of goods or services, usually after a demand or supply shock is known as ?
Answer
Correct Answer:
Price Gouging
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Price Discrimination Offering products at different prices to______.?
Answer
Correct Answer:
Competitors
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Per Se Standard Conduct that is inherently ______and harmful to the market is analyzed under this standard to determine whether an action is an unreasonable restraint.?
Answer
Correct Answer:
Anticompetitive
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A mortgage loan is not secured by real estate?
Answer
Correct Answer:
False
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________ occurs when a company or its products dominate a particular market?
Answer
Correct Answer:
Monopoly
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Which theory Postulates that a person who uses insider information in trading securities has committed securities fraud against the source of the information?
Answer
Correct Answer:
Misappropriation Theory
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Material”s Information that would not be important to an average investor?
Answer
Correct Answer:
False
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_______ in which buyers view two products as close substitutes.?
Answer
Correct Answer:
Market
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A jobs act law that created exemptions to existing securities regulations in order to ease the process of obtaining capital, especially for _____-sized companies.
Answer
Correct Answer:
Small- to-medium
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The ________ trading illegal act of buying or selling of securities for a profit based on information not available to the public.
Answer
Correct Answer:
Insider
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When a merchant creates a warranty through actions or words that describe the product as having certain qualities is known as?
Answer
Correct Answer:
Implied Warranties
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Regulates communications between creditors and debtors and prohibits creditors from making false, deceptive, or misleading statements is known as ?
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Equity is an_______percentage of a venture.?
Answer
Correct Answer:
Ownership
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_________Under this act, it is unlawful for any provider of consumer financial products or services to engage in any unfair deceptive or abusive act or practice.?
Answer
Correct Answer:
Dodd–Frank Act (DFA)
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Debt ____assets that have not a fixed rate of return (e.g., bonds and mortgages).
Answer
Correct Answer:
Instruments
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Consumer Financial Protection Bureau (CFPB) is an agency created to regulate consumer financial transactions, including credit cards______, and bank accounts.
Answer
Correct Answer:
All of these
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_________ are attorneys, accountants, consultants, and other third parties who have a temporary fiduciary duty to the company because of their jobs.?
Answer
Correct Answer:
Constructive Insiders
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The illegal act of a general that owes a fiduciary duty to the company—usually an employee or director—learns nonpublic information and breaches its fiduciary duty by trading the securities of the company is known as Classical Insider Trading
Answer
Correct Answer:
False
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Bait and Switch is a technique used by companies to lure the consumer into buying a product of a higher price by initially advertising a product at a low price but in actuality selling a different product at a lower price?
Answer
Correct Answer:
False
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